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For Companies At a Glance
- Tasks: Advise on compliance, lead initiatives, and support risk management activities.
- Company: Join one of the UK's largest asset managers with ambitious growth plans.
- Benefits: Enjoy a dynamic work environment with exposure to senior stakeholders and exciting projects.
- Why this job: Be part of a forward-thinking firm that values innovation and compliance excellence.
- Qualifications: Experience in investment management compliance, particularly with UCITS & COLL regulations.
- Other info: Opportunity for professional growth and engagement in strategic development.
The predicted salary is between 43200 - 72000 £ per year.
Job Description
Our client, one of the UK’s largest asset managers with ambitions to double AUM, are looking to appoint an experienced Fund Compliance Specialist in a broad and rewarding role, covering both assurance and advisory activities.
Reporting directly to the Head of Risk & Compliance, the role will also support the firm’s wider strategic ambitions, including through engagement in the development of exciting new propositions. This is an opportunity to join a dynamic and ambitious firm in a varied Compliance role with exposure to senior stakeholders, both internally and externally.
You will:
- Advise business areas on recommended control improvement actions.
- Provide investment risk and compliance consultancy to key stakeholders
- Lead on second line engagement change initiatives.
- Support the Head of Risk and Compliance in the development and delivery of the Compliance Plan.
- Review daily risk measurement checks (e.g. Derivative exposures; fund compliance with VaR limits, VaR back-testing overshoots and Liquidity thresholds)
- Act as the risk and compliance contact for error and breach identification, resolution, trend analysis and escalation.
- Liaise with the Depositary to complete regulatory and best practice obligations.
The ideal candidate will have demonstrable Compliance experience in the investment management sector, particularly in an ACD business, with deep knowledge of UCITS & COLL; Strong understanding and experience of 2LoD compliance monitoring techniques and regulatory requirements, including investment principles, investment types and portfolio liquidity; Excellent communication skills, with an ability to influence, facilitate and negotiate.
Investment Risk & Compliance Specialist employer: Davies Talent Solutions
Contact Detail:
Davies Talent Solutions Recruiting Team
StudySmarter Expert Advice 🤫
We think this is how you could land Investment Risk & Compliance Specialist
✨Tip Number 1
Network with professionals in the investment management sector. Attend industry events or webinars where you can meet compliance specialists and risk managers. Building these connections can provide valuable insights and potentially lead to referrals.
✨Tip Number 2
Stay updated on the latest regulatory changes and compliance trends in the investment management industry. This knowledge will not only enhance your discussions during interviews but also demonstrate your commitment to the field.
✨Tip Number 3
Prepare to discuss specific examples of how you've successfully managed compliance issues or improved processes in previous roles. Highlighting your hands-on experience will show that you can add immediate value to our team.
✨Tip Number 4
Familiarise yourself with our company’s values and strategic goals. Tailoring your conversations to align with our ambitions will help you stand out as a candidate who is genuinely interested in contributing to our success.
We think you need these skills to ace Investment Risk & Compliance Specialist
Some tips for your application 🫡
Tailor Your CV: Make sure your CV highlights relevant experience in compliance and risk management, particularly within the investment management sector. Use specific examples that demonstrate your knowledge of UCITS & COLL and your ability to advise on control improvements.
Craft a Compelling Cover Letter: In your cover letter, express your enthusiasm for the role and the company. Discuss how your background aligns with their ambitions to double AUM and your experience in providing consultancy to stakeholders. Be sure to mention your communication skills and ability to influence.
Highlight Key Achievements: When detailing your previous roles, focus on key achievements that relate to compliance monitoring techniques and regulatory requirements. Quantify your successes where possible, such as improvements in compliance processes or successful engagement initiatives.
Proofread Your Application: Before submitting your application, carefully proofread all documents for spelling and grammatical errors. A polished application reflects your attention to detail, which is crucial in a compliance role.
How to prepare for a job interview at Davies Talent Solutions
✨Know Your Compliance Regulations
Familiarise yourself with UCITS and COLL regulations, as well as the latest compliance monitoring techniques. Being able to discuss these in detail will show your expertise and readiness for the role.
✨Demonstrate Your Advisory Skills
Prepare examples of how you've advised on control improvements or compliance issues in previous roles. Highlighting your consultancy experience will be crucial, as this position involves significant stakeholder engagement.
✨Showcase Your Analytical Abilities
Be ready to discuss your experience with risk measurement checks and trend analysis. Providing specific instances where you've identified and resolved compliance breaches will illustrate your analytical skills.
✨Communicate Effectively
Practice articulating complex compliance concepts in a clear and concise manner. Strong communication skills are essential for influencing and negotiating with stakeholders, so be prepared to demonstrate this during the interview.
